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SR-FINRA-2017-011
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Notice to Members - April 1999
Various updates.
Notice to Members 97-76
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
Notice to Members 97-77
Comment Period Expires: December 31, 1997 SUGGESTED ROUTING Senior Management Legal & Compliance Registered Representatives Registration Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment on a proposed new rule, National Association of Securities Dealers, Inc. (NASD®) Rule 1150 (Rule), which would provide NASD members with a qualified
Notice to Members 99-32
Comment Period Expires May 31, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration
Notice to Members 99-35
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Notice to Members 97-78
SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Executive Summary On September 10,1997, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® Conduct Rule 2280, Investor Education and Protection, which requires certain NASD members to provide customers with the following
Notice to Members 99-33
Comment Period Expires May 31, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration
Notice to Members 97-79
Comment Period Expires: December 1, 1997 SUGGESTED ROUTING Senior Management Legal & Compliance Operations Registered Representatives Systems Executive Summary At its September 1997 meeting, the NASD Regulation, Inc., Board of Directors (Board) approved a proposed
Notice to Members 99-34
Rule Effective April 21, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund